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Compliance Calendar

The FINRA Compliance Calendar provides firms with a calendar of upcoming deadlines and events. In the future, the calendar will be expanded to include firm-specific information for a more customized view.

SAA Certification Period

Learn more: https://www.finra.org/industry/entitlement-program
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

Form OBS Filings Due

FINRA-required filing, for clearing or carrying firms, that includes detailed information about off-balance sheet and other risk. Detailed filing required when aggregate risk exceeds exception amount.

Learn more: https://www.finra.org/industry/information-notice-113017
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 1, 2018

Regulatory Filings

FINRA-required filing, for clearing or carrying firms, that includes detailed information about off-balance sheet and other risk. Detailed filing required when aggregate risk exceeds exception amount.

Short Interest Reporting Due

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

Learn more: https://www.finra.org/industry/short-interest/short-interest-reporting-due-dates
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 2, 2018

Regulatory Filings

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

SR-FINRA-2017-033

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2017-033
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

SR-FINRA-2017-036

SR-FINRA-2017-036

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to make technical and other non-substantive changes within FINRA rules.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2017-036
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 1, 2018

Rule Filings

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to make technical and other non-substantive changes within FINRA rules.

SR-FINRA-2017-021

SR-FINRA-2017-021

Rule Filing Status: Approved

Rule change to amend FINRA Rule 7730 to make available a new TRACE Security Activity Report.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2017-021
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 1, 2018

Rule Filings

Rule Filing Status: Approved

Rule change to amend FINRA Rule 7730 to make available a new TRACE Security Activity Report.

SR-FINRA-2017-015

SR-FINRA-2017-015

Rule Filing Status: Approved

Rule change to amend FINRA Rule 7730 to make available a new End-of-Day TRACE Transaction File.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2017-015
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 1, 2018

Rule Filings

Rule Filing Status: Approved

Rule change to amend FINRA Rule 7730 to make available a new End-of-Day TRACE Transaction File.

SAA Certification Period

Learn more: https://www.finra.org/industry/entitlement-program
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

SR-FINRA-2016-039

SR-FINRA-2016-039

Rule Filing Status: Approved

Rule change to: (1) amend FINRA Rule 4512 (Customer Account Information) to require members to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account; and (2) adopt new FINRA Rule 2165 (Financial Exploitation of Specified Adults) to permit members to place temporary holds on disbursements of funds or securities from the accounts of specified customers where there is a reasonable belief of financial exploitation of these customers.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2016-039
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 5, 2018

Rule Filings

Rule Filing Status: Approved

Rule change to: (1) amend FINRA Rule 4512 (Customer Account Information) to require members to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account; and (2) adopt new FINRA Rule 2165 (Financial Exploitation of Specified Adults) to permit members to place temporary holds...

Customer Margin Balance Due

Learn more: http://www.finra.org/industry/margin-accounts
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

SR-FINRA-2016-027

SR-FINRA-2016-027

Rule Filing Status: Approved

Rule change to expand the Trade Reporting and Compliance Engine (“TRACE”) reporting rules to include most secondary market transactions in marketable U.S. Treasury securities. Under the proposed rule change, transaction information in these securities would not be disseminated to the public.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2016-027
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 5, 2018

Rule Filings

Rule Filing Status: Approved

Rule change to expand the Trade Reporting and Compliance Engine (“TRACE”) reporting rules to include most secondary market transactions in marketable U.S. Treasury securities. Under the proposed rule change, transaction information in these securities would not be disseminated to the public.

Deadline for Comments on Regulatory Notice 17-42

Learn more: https://www.finra.org/industry/notices/17-42
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2017-018
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

SR-FINRA-2018-001

Rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 12, 2019. FINRA Rule 0180 temporarily limits, with certain exceptions, the application of FINRA rules with respect to security-based swaps.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2018-001
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 12, 2018

Rule Filings

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 12, 2019. FINRA Rule 0180 temporarily limits, with certain exceptions, the application of FINRA rules with respect to security-based swaps.

SR-FINRA-2016-005

SR-FINRA-2016-005

Rule Filing Status: Approved

Rule change to reduce the synchronization tolerance for members’ computer clocks that are used to record events in NMS securities, including standardized options, and OTC Equity Securities. This proposal would not change the current clock synchronization requirement for members’ mechanical time stamping devices or computer clocks that are used to record events for securities other than NMS securities or OTC Equity Securities.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2016-005
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 19, 2018

Rule Filings

Rule Filing Status: Approved

Rule change to reduce the synchronization tolerance for members’ computer clocks that are used to record events in NMS securities, including standardized options, and OTC Equity Securities. This proposal would not change the current clock synchronization requirement for members’ mechanical time stamping devices or computer clocks that are u...

Short Interest Reporting Due

Short Interest Reporting Due

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

Learn more: https://www.finra.org/industry/short-interest/short-interest-reporting-due-dates
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 20, 2018

Regulatory Filings

FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month.

SR-FINRA-2018-012

Rule change to amend FINRA Rules 12214(e)(1), 12904(g)(5), 13214(e)(1) and 13904(g)(5) to eliminate the $400 fee for an explained decision.

Learn more: https://www.finra.org/industry/rule-filings/sr-finra-2018-012
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 21, 2018

Rule Filings

Rule Filing Status: Filed for Immediate Effectiveness

Rule change to amend FINRA Rules 12214(e)(1), 12904(g)(5), 13214(e)(1) and 13904(g)(5) to eliminate the $400 fee for an explained decision.

Cybersecurity Conference

This years conference helps you stay current on today's challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks.

Learn more: https://www.finra.org/industry/2018-finra-cybersecurity-conference
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 22, 2018

Conferences and Events

This years conference helps you stay current on today's challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks.

FOCUS Part II/IIA - Monthly Filings Due

SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.

Learn more: http://www.finra.org/industry/information-notice-113017
This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.

February 26, 2018

Regulatory Filings

SEC required filing. FOCUS Report Part II or IIA, and frequency of filing, based on broker-dealer's business model. Report includes financial statements and applicable schedules.

This information is provided as a convenience to firms and may not be a complete listing of all of a firm’s regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm’s regulatory responsibilities.